FINRA – Broker Actions | New York Criminal & Securities Attorney

M B “Mickey” Schreiber Suspended from Securities Industry by FINRA After Unauthorized Discretion Investigation

M B “Mickey” Schreiber Suspended from Securities Industry by FINRA After Unauthorized Discretion Investigation

By Kevin J. Deloatch, Esq.|2022-11-10T21:52:11-05:00November 10th, 2022|Tags: Aegis Capital Corp, arbitration, AWC, breach of contract, churning, Concord Equity Group, customer account, customer complaint, Department of Enforcement, discretionary trades, exercised, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), FINRA Rule 4511, fraud, investigation, M. B. Schreiber, Mickey Schreiber, misrepresentation, NASD Rule 2510(b), National Securities Corporation, negligence, Newbridge Securities Corporation, omission of material facts, sales practice, securities industry, securities law, securities law practice, Summit Brokerage Services, suspended, suspension, unauthorized discretion, unsuitability, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, M B “Mickey” Schreiber (CRD # 1032600) was recently suspended from the [...]

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Christopher “Chris” Shaw Suspended from Securities Industry by FINRA for Unauthorized Discretion

Christopher “Chris” Shaw Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-11-09T14:26:18-05:00November 9th, 2022|Tags: authority, AWC, breach of contract, breach of fiduciary duty, Chris Shaw, Christopher, Christopher Shaw, customer account, Department of Enforcement, discretion, discretionary, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Kalos Management, negligence, Newbridge Financial Services Group, Newbridge Securities Corporation, Pruco Securities, sanction, securities industry, Shaw, suspended, unauthorized, unauthorized discretion, unsuitable recommendation, violated, written authorization|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christopher John Shaw, a/k/a Chris Shaw (CRD # 5011382) was recently suspended [...]

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Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-11-06T19:00:31-05:00November 6th, 2022|Tags: advisor, Alexander, Arive Capital Markets, AWC, broker, Christopher Polinaire, churning, customer accounts, Department of Enforcement, excessive, excessively, fine, fined, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, First Standard Financial Company, fraud, investigation, Network 1 Financial Securities, sanction, securities, securities industry, securities law, suitability, suspended, trading, unsuitable, Unsuitably, violations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Christopher Alexander Polinaire (CRD # 4330879) was recently suspended from the securities [...]

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Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2022-09-04T14:24:03-05:00September 4th, 2022|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, customer complaint, David Lerner Associates, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, industry, investment, limited partnership, misrepresentation, recommendations, Russ Kory, sanction, securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Russ Kory (CRD # 5901185) was recently suspended from the securities industry [...]

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Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-08-09T19:11:52-05:00August 9th, 2022|Tags: advisor, Alexander Capital, AWC, bar, barred, broker, churning, customer account, customer accounts, Department of Enforcement, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, Joseph Ambrosole, Joseph Stone Capital, Meyers Associates, securities industry, unauthorized, unsuitable trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Joseph A. Ambrosole (CRD # 5732488) was recently barred from the securities industry [...]

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James Pecoraro Suspended from Securities Industry by FINRA for Churning

James Pecoraro Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-08-07T16:10:42-05:00August 7th, 2022|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Harrison Securities, investigation, James Pecoraro, misrepresentation, negligence, Primary Capital, Quantitatively unsuitable, Rockwell Global Capital, sanction, securities industry, Spartan Capital Securities, suspended, SW Financial, unauthorized, unauthorized transactions, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Pecoraro (CRD # 2440231) was recently suspended from the securities industry [...]

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Charles Baker Barred from Securities Industry by FINRA After Investigation

Charles Baker Barred from Securities Industry by FINRA After Investigation

By Kevin J. Deloatch, Esq.|2022-06-16T19:46:34-05:00June 16th, 2022|Tags: arbitration, AWC, bar, barred, Charles Baker, commercial honor, customer complaint, Dean Witter Reynolds, Department of Enforcement, discretionary, E.F. Hutton, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Richfield Orion International, Ronald, securities industry, securities law, trading, unsuitable, WFG Investments|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Charles Ronald Baker (CRD # 10600) was recently barred from the securities [...]

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Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

By Kevin J. Deloatch, Esq.|2022-06-15T17:10:24-05:00June 15th, 2022|Tags: adviser fraud, AWC, Banc of America Securities, Blakely Page, Cascade Financial Management, customer complaint, Department of Enforcement, feeder fund, fine, fined, FINRA, FINRA Rule 2010, fraud, investigation, investment fund, master fund, misrepresentation, negligent, sanction, securities industry, Spouting Rock Capital Advisors, suspended|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blakely Page (CRD # 2922955) was recently suspended from the securities industry [...]

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Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-06-13T11:02:49-05:00June 13th, 2022|Tags: a/k/a, AWC, churning, Craig Scott Capital, customer complaints, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Joseph Stone Capital, Paul Desir, Paulmery Robert Desir, Richfield Orion International, Rothschild Lieberman LLC, sanction, securities industry, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]

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Walter Waitak Light Suspended from Securities Industry by FINRA for Unauthorized Discretion

Walter Waitak Light Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-06-12T12:48:51-05:00June 12th, 2022|Tags: AWC, customer complaints, Darnall Kemna and Co., Department of Enforcement, fine, fined, FINRA, fraud, investigation, Light Securities, regulatory actions, Rule 2010, Rule 3260, sanction, sanctioned, securities industry, suspended, Treasure Financial Corp., unauthorized discretion, Walter Light, Walter Waitak Light|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Walter Waitak Light (CRD # 1494331) was recently suspended from the securities [...]

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